SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Democrats Succeed on Dodd Bill Cloture Vote in Senate; Final Vote Expected Soon
By Melanie WaddellSenate Democrats were successful on Thursday, May 20, in invoking cloture on Senator Christopher Dodd's (D-Connecticut) financial services reform bill, S. 3217.
May 13, 2010
Administration Outlines Credit Ratings OverhaulProposed bill would increase transparency, tighten oversight, reduce reliance, and give SEC more oversight powers.
May 13, 2010
SEC Votes to Regulate EIAs as SecuritiesMaking a final determination on a long anticipated decision on whether equity indexed annuities (EIAs) are insurance products or securities, the SEC voted December 17 to regulate EIAs as securities.
May 02, 2010
Fiduciary Standard Back in Play in Dodd Reform BillA uniform fiduciary standard for all providers of advice is back on the table in the Senate.
May 01, 2010
Editor's Note: Another Modest ProposalHarry Markopolos, one of our 30 most influential people in the independent advice business over the past 30 years that Investment Advisor has been published...
May 01, 2010
The Great UnfixingIt was known as "May Day" or "Mayday," the latter spelling suggesting the distress with which it was regarded in some financial circles. On May...
May 01, 2010
30 for 30 Interviews: Harry MarkopolosYou've been watching the SEC for years. How do you think the SEC is doing now? Have the changes to staff and structure that SEC...
May 01, 2010
30 for 30 Interviews: Mary SchapiroAre you waiting to see the outcome of financial services reform before you make a final determination on how to proceed with harmonizing the rules...